Bilked and Bullied by Wall Street
and Regulators
- Government Investigations and Litigation
- Whistleblower Advocacy
- Recovering Investor Losses
For years, Lisa Bragança worked as a SEC Enforcement Branch Chief, where she led investigations into securities fraud, insider trading, market manipulation, and other trading practices. Now, she aggressively fights to protect the rights of businesses, financial professionals, investors, and whistleblowers.
Lisa has represented financial professionals, directors, officers, employees, and other professionals in regulatory investigations, shareholder class actions, and bankruptcy adversary proceedings. She understands the impact that these legal matters have on her clients, which is why she strives to reach the best possible outcome in every case, and bring them peace of mind.
If you are involved in a securities investigation, it’s in your best interest to have an experienced securities attorney representing you. An unfavorable outcome in a regulatory investigation could completely end your career in the financial industry. But, this isn’t the only penalty you could face. Financial professionals may also be ordered to pay significant fines for their alleged misconduct.
Your future is at stake in a regulatory investigation. Lisa is an experienced securities attorney who has saved the careers of senior executives and financial professionals involved in regulatory investigations. She understands how critical this dispute is in your career and your life. She will work tirelessly to get the best possible result for you.
The Enforcement Division of the U.S. Securities and Exchange Commission (SEC) investigates allegations of securities law violations such as stock manipulation, theft, fraud, misrepresentation, insider trading, and selling unregistered securities.
The SEC may obtain evidence from witnesses through interviews or on-the-record testimony obtained via subpoena. An experienced securities attorney can work with the SEC to ensure the SEC gets what it wants in the least burdensome manner possible.
Based on the evidence the Commission may decide to file an administrative action or file a federal court case.
But, there is much less information exchanged before the hearings start and there are almost never any depositions. An experienced investment fraud lawyer can help you decide whether to participate in a class action or whether you can obtain a better result by “opting out” of the class.
When you have knowledge of wrongdoing, you may want to report it as quickly as possible to get it off your conscience. However, potential whistleblowers should always consult with an attorney experienced in securities law before doing so.
Making an error in the way you deliver a tip or report wrongdoing to a regulatory agency can mean that you are not eligible for monetary whistleblower awards, nor protected under the provisions of whistleblower laws. Once you have made contact with the agency, through a tip line or otherwise, you cannot go back and “fix” your report to make yourself eligible for awards or protections. This is why it is imperative that you consult an attorney experienced in whistleblower cases before you make any move to report wrongdoing.
Are you involved in an SEC/FINRA investigation? Are you thinking about submitting a whistleblower tip to the SEC? If so, seek legal representation from Lisa Bragança at Bragança Law as soon as possible. The outcome of your case could affect the rest of your life, which is why Lisa will work tirelessly to get the best possible results for you.
Lisa Bragança is proud to work with clients nationwide while also serving clients through the Chicago suburbs and in the local Downtown Chicago area approximately 26 miles from the Chicago Midway International Airport (MDW) and approximately 13.5 miles from the O’Hare International Airport (ORD). To schedule a free consultation, call Bragança Law at (847) 906-3460 or submit your information using the contact form on this website.
We have been successful in obtaining excellent results for clients in investigations. In many cases, the government has declined to bring any charges against our clients or has settled for significantly reduced charges. We recognize that government investigations are not only distressing and disruptive to our clients but also expensive. We work closely with our clients to minimize the disruption and the cost of getting through an investigation.
Unforced Errors: Staying on Serve with the SEC Rafael Nadal and Roger Federer are almost certainly among the top five or six male tennis players of all time. Federer retired from tennis in 2022, and Nadal just announced he will retire at the end of this year. At their peaks, they were undisputedly the top two players in the world. And while few…
Bragança Law Ranked a Top Small Firm in Chambers and Partners Illinois Spotlight Rankings PRESS RELEASE: September 10, 2024 Skokie, Illinois Braganca Law LLC has been ranked in Illinois Chambers Spotlight 2025 Guide and recognized as a top small firm handling high-quality work. Bragança Law was selected based on an independent and in-depth market analysis, coupled with an assessment of our experience, expertise and calibre of talent. The Chambers…
SEC Faces Sanctions – Again! SEC Made Numerous Material Misrepresentations to Utah District Court ***UPDATES BELOW – 3/19/24 and 6/4/24*** For a government agency with the talent and resources of the Securities and Exchange Commission, its ability to lose its focus and score an own goal is sometimes remarkable. At the same time the Supreme Court has power of administrative…
Fill out the contact form or call us at (847) 906-3460 to schedule your free consultation.